BonitaSpringsRecruiter Since 2001
the smart solution for Bonita Springs jobs

AML Analyst, CIU

Company: Advisor Group
Location: Saint Petersburg
Posted on: October 19, 2019

Job Description:

Location: St. Petersburg

Current Employees and Contractors Apply Here

Advisor Group Careers
Our strengths, combined with the collective strengths of our advisors, provide powerful momentum to meet the next generation of challenges and opportunities.Be a part of the team behind our success!--At Advisor Group, we support more than 7,000 financial advisors, the people who help everyday Americans achieve their dreams. Were a billion-dollar business with the mentality and drive of a startup. Join us in building something special.Client Intelligence Unit Opportunity in Financial ServicesAML (Anti-Money Laundering) CIU AnalystKeys:------ financial crimes, KYC, CIP, CDD, EDD, ScreeningLocation:877 Executive Center Drive West, Saint Petersburg, Florida 33702Summary:The Anti-Money Laundering (AML) CIU Analyst will be responsible for working the customer onboarding validation and review process, including analysis, documentation collection and verification, pertinent to individual and entity-based client relationships. Duties will also include, but are not limited to; screening and reviewing clients for relevant Know Your Client (KYC) Customer Identification Program (CIP)/ Customer Due Diligence rule (CDD) and Enhanced Due Diligence (EDD) requirements. The analyst will interact with colleagues at various levels throughout the Firm, advisors and supervisors in the field, and with our clearing firms to conduct thorough investigations into potentially suspicious activity.Core Responsibilities:

  • Conduct CIP screening and verification utilizing relevant systems
  • Review and escalation of various matters notified and escalated to the AML Group, by various facets of the business, with respect to the due-diligence process.
  • Perform Client Due Diligence testing and review, utilizing internal and third-party research tools.
  • Perform Enhanced Due Diligence for High-Risk clients utilizing internal and third-party research tools.
  • Metrics gathering and escalation.
  • Work with advisors and supervisors to gather information and documentation required to resolve matters.
  • Identify and escalate matters containing potentially suspicious activity, Firm policy violations, or matters that may pose a higher risk to the Firm.
  • Work with other teams on the formulation of all facts and documents relevant to Suspicious activity reporting (SARs). Utilize a wide variety of resources, both public and non-public, to fully investigate matters involving possible financial criminal activity.
  • Maintain a high level of confidentiality in all dealings with both internal and external stakeholders.
  • Maintain currency in laws and regulations pertaining to anti-money laundering violations.
  • All other duties as assigned Education Requirements:
    • Bachelors degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.-- Minimum of high school diploma or equivalent is required.-- Basic Requirements:
      • 5+ years of securities industry experience
      • 2-3 years conducting related functions within a Broker Dealer or Bank.
      • Strong verbal and written communication skills are required
      • Relevant systems experience
      • A solid and considered approach when dealing with business partners
      • General compliance knowledge - must have extensive knowledge of FINRA, SEC and Firm-specific rules and regulations
      • Proficiency in MS Office applications (Word, Excel, Access)
      • Strong organizational skills and the ability to work within strict timeframes
      • Ability to interpret the Firms Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation, and internal policies and procedures
      • Knowledge of the retail brokerage business, fee-based advisory business and common investment products including, but not limited to, mutual funds, variable annuities, alternative investments, stocks, and bonds
      • Ability to travel Preferred Requirements:
        • CAMS or equivalent (CFCS)
        • FINRA Series 7 is a plus
        • CFE Certification is a plus
          Current Employees and Contractors Apply Here

Keywords: Advisor Group, Bonita Springs , AML Analyst, CIU, Professions , Saint Petersburg, Florida

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category
within


Other Professions Jobs


Financial Consultant - Naples, FL
Description: With your extraordinary knowledge and incomparable integrity, we know that clients invest their trust in you. Join a team that also invests in you with key product and service offerings, sophisticated (more...)
Company: Fidelity Investments
Location: Bonita Springs
Posted on: 11/12/2019

Refrigerated OTR Company Drivers
Description: Company Truck Driver Benefits br br Paid 3 1/2 day orientation br
Company: Freymiller Inc
Location: Saint Petersburg
Posted on: 11/12/2019

Inventory Control Specialist
Description: Part Time Retail Inventory Associate Here at RGIS, you count We are looking for a reliable, accurate, and efficient Part Time Inventory Associate to join our exciting team. No experience No problem (more...)
Company: RGIS
Location: Fort Myers
Posted on: 11/12/2019


Warehouse/Shopper Team Member
Description: br br Warehouse/Shopper Team Member Seasonal, Part-Time, Full-Time, Flexible Hours br br Shifts: br Overnight, Sunrise, Day, Evening, Weekend br br Location br St. Pete Clearwater (more...)
Company: Amazon
Location: Saint Petersburg
Posted on: 11/12/2019

Electricians
Description: Electricians come work the fastest growing construction company in the area.What we offer to our valued employees: ---High Pay---Weekly Advances---Long
Company: CCS Construction Staffing
Location: Fort Myers
Posted on: 11/12/2019

Inventory Technician (Entry Level)
Description: Part Time Retail Inventory Associate Here at RGIS, you count We are looking for a reliable, accurate, and efficient Part Time Inventory Associate to join our exciting team. No experience No problem (more...)
Company: RGIS
Location: Fort Myers
Posted on: 11/12/2019

Inventory Assistant
Description: Part Time Retail Inventory Associate Here at RGIS, you count We are looking for a reliable, accurate, and efficient Part Time Inventory Associate to join our exciting team. No experience No problem (more...)
Company: RGIS
Location: Fort Myers
Posted on: 11/12/2019

Facility Supply Chain Technician
Description: Description SHIFT: No Weekends br br SCHEDULE: Full-time br br Facility Supply Chain Technician br Doctors Hospital of Sarasota FT no weekends br br Doctors Hospital of Sarasota is a (more...)
Company: Doctors Hospital of Sarasota
Location: Sarasota
Posted on: 11/12/2019

Project Architect
Description: Project architects are expected to be well rounded following projects from design through construction administration. We invest in our people and their professional
Company: Wannemacher Jensen Architects, Inc.
Location: Saint Petersburg
Posted on: 11/12/2019

CDL-A Flatbed Owner Operator Truck Driver
Description: CDL-A OTR OWNER OPERATOR TRUCK DRIVER JOBSGrow Your CDL-A Business With Flatbed, Step Deck Heavy Haul Routes At Bennett Motor Express, we know there s nothing more important than family. In fact, our (more...)
Company: Bennett Motor Express
Location: Fort Myers
Posted on: 11/12/2019

Log In or Create An Account

Get the latest Florida jobs by following @recnetFL on Twitter!

Bonita Springs RSS job feeds